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MP

Mary Paeng

Some features on this profile are disabled
CRD#: 2288924
MP

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Mary Paeng, who also goes by Mary Kyung, Mary Moon, Mary Moonkyung, Mary Nmn Paeng, was a registered financial professional .

Mary is a previously registered financial professional and started their career in finance in 1993. Mary had worked at 8 firms and has passed the Series 63, Series 99TO, Series 79TO, SIE, Series 7, Series 14 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Mary Kyung | Mary Moon | Mary Moonkyung | Mary Nmn Paeng

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

June 28, 2010 - September 8, 2025

WREN CAPITAL, LLC

BD
CRD#: 150721
SAN FRANCISCO, CA
Past

January 11, 2010 - June 30, 2010

COWEN PRIME SERVICES TRADING LLC

BD
CRD#: 23857
SAN FRANCISCO, CA
Past

July 9, 2009 - January 4, 2010

COWEN PRIME SERVICES TRADING LLC

BD
CRD#: 23857
NEW YORK, NY
Past

November 9, 1998 - June 4, 2002

HSBC SECURITIES (USA) INC.

BD
CRD#: 19585
NEW YORK CITY, NY
Past

June 29, 1998 - July 24, 1998

UBS SECURITIES LLC

BD
CRD#: 7654
NEW YORK, NY
Past

September 2, 1997 - June 29, 1998

SBC WARBURG DILLON READ INC.

BD
CRD#: 1650
STAMFORD, CT
Past

June 3, 1996 - September 2, 1997

SBC WARBURG, INC.

BD
CRD#: 23745
NEW YORK, NY
Past

March 15, 1994 - June 3, 1996

S.G. WARBURG & CO. INC.

BD
CRD#: 1483
NEW YORK, NY
Past

February 16, 1993 - February 16, 1994

JAMES CAPEL INCORPORATED

BD
CRD#: 15390

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 7/27/2009
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/7/2009
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 14
Date: 1/2/2023
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/17/2009
General Securities Principal Examination

Current Firm

WC
WREN CAPITAL, LLC
PAENG, MARY NMN | WREN CAPITAL, LLC | WREN CAPITAL

CRD#: 150721 / SEC#: , 8-68287

BD
Terminated by SEC on 09/07/2025
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Contact information

Main Address
Mailing Address
Phone number
Established
California since 07/16/2009
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
PAENG, MARYMANAGING MEMBER, CHEIF EXECUTIVE OFFICER, CHIEF COMPLIANCE OFFICER2288924
MOYE, CELESTE WILLATFINOP6566618

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

WREN CAPITAL, LLC

CRD#: 150721

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